> Fund Manager Regulations SHARE : Detail Content Fund Manager/Investment Analyst The approval process for fund managers and investment analysts are prescribed in the Capital Market Supervisory
Provident Fund Act B.E 2530 (1987) as amended The Trust for Transactions in Capital Market Act B.E. 2550 (2007) as amended Emergency Decree on Special Purpose Juristic Persons for Securitization B.E. 2540
process of the regulatory framework is completed. In addition to meeting the required minimum paid-up capital, the intermediaries are also subject to maintaining on-going capital requirement (Net Capital
enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial reporting disclosed to the public. The SEC requires the auditor in the capital market to
SPO is not more than 25 per cent of paid-up capital. The company which will submit the application in accordance with the fast track rule must meet the prescribed criteria, for instance, during the
fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
derivatives businesses 2. In readiness for providing services such as having capital and staff capacities to offer services appropriately and sufficiently, operating on an information technology system with
undertaken by the ASEAN Capital Markets Forum ( ACMF ) that allows the units of an ASEAN CIS authorized in its Home Jurisdiction to be offered in other Host Jurisdictions under a streamlined authorization
supervision 2.8 Handbook for approval of foreign auditors Introduction Checking whether applicant's qualification meet with Fast Track Approval Conditions Approval Process Relevant laws and regulations